DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
V••••• A••••••••• I••••••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jun 8, 2007
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.1B as of Jun 30, 2026
Mar 30, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 28, 20130 then
Employees (5.A)0 as of Jun 30, 2026
Mar 28, 20130 then
Private funds: no history
RAUM -48% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $263MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -48%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · Director, Executive Vice President And Treasurercontrolsince 06/2009 · owns less than 5%
- A••••••• G•••••• R••••• · Director And Presidentcontrolsince 11/2013 · owns less than 5%
- P••••••••• A••••• C•••••• · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- S••••• R••••••• W•••••• · Executive Vice President And Chief Operating Officercontrolsince 05/2021 · owns less than 5%
- H•••••• D••••• G••••• · Vice President And Assistant Treasurersince 06/2009 · owns less than 5%
- P••••••• C•••••• · Chief Compliance Officersince 04/2014 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• · Shareholderdirect · owns 75% or more
- V••••• I••••••••• P•••••••• I••• · Shareholderindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment advisernRAUM $13B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• L••investment advisernRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbanknRAUM $35B
- V••••• Capital Advisers, LLCinvestment advisernRAUM $1.5B
- V••••• G••••• P••••••• P••• L••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list V••••• A••••••••• I••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $2,028,923,231 to $1,052,973,632 (-48.0%) between the annual amendments of 2025-01-31 and 2026-03-18; the peer median change was +11.0% (1368 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 4Jan 31, 2025 to Mar 18, 2026
- Discretionary RAUM · $2.0B to $1.1BJan 31, 2025 to Mar 18, 2026
- RAUM · $2.0B to $1.1BJan 31, 2025 to Mar 18, 2026
- Accounts · 9 to 3Mar 26, 2024 to Jan 31, 2025
- Business name · V••••• A••••••••• I••••••••• A•••••••• I••• to V••••• A••••••••• I••••••••• A•••••••• L••Mar 26, 2024 to Jan 31, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Jan 31, 2025
- Legal name · V••••• A••••••••• I••••••••• A•••••••• I••• to V••••• A••••••••• I••••••••• A•••••••• L••Mar 26, 2024 to Jan 31, 2025
- Organization form · Corporation to Limited Liability CompanyMar 26, 2024 to Jan 31, 2025
- Discretionary RAUM · $3.1B to $2.0BMar 26, 2024 to Jan 31, 2025
- RAUM · $3.1B to $2.0BMar 26, 2024 to Jan 31, 2025
- Accounts · 11 to 9Nov 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $988M to $3.1BNov 29, 2023 to Mar 26, 2024
- RAUM · $988M to $3.1BNov 29, 2023 to Mar 26, 2024
- Accounts · 9 to 11Mar 16, 2023 to Mar 29, 2023
- Discretionary RAUM · $866M to $988MMar 16, 2023 to Mar 29, 2023
- RAUM · $866M to $988MMar 16, 2023 to Mar 29, 2023
- Accounts · 3 to 9Mar 24, 2022 to Mar 16, 2023
- Discretionary RAUM · $344M to $866MMar 24, 2022 to Mar 16, 2023
- RAUM · $344M to $866MMar 24, 2022 to Mar 16, 2023
- Accounts · 5 to 3Mar 4, 2021 to Mar 24, 2022
- Discretionary RAUM · $407M to $344MMar 4, 2021 to Mar 24, 2022
- RAUM · $407M to $344MMar 4, 2021 to Mar 24, 2022
- Accounts · 3 to 5Feb 27, 2020 to Mar 4, 2021
- Financial planning clients · unset to 0Feb 27, 2020 to Mar 4, 2021
- Discretionary RAUM · $161M to $407MFeb 27, 2020 to Mar 4, 2021
- RAUM · $161M to $407MFeb 27, 2020 to Mar 4, 2021
- Accounts · 5 to 3Oct 15, 2019 to Feb 27, 2020
- Discretionary RAUM · $262M to $161MOct 15, 2019 to Feb 27, 2020
- RAUM · $262M to $161MOct 15, 2019 to Feb 27, 2020
- Accounts · 4 to 5Jan 9, 2019 to Mar 11, 2019
- Discretionary RAUM · $427M to $262MJan 9, 2019 to Mar 11, 2019
- RAUM · $427M to $262MJan 9, 2019 to Mar 11, 2019
- Accounts · 5 to 4Mar 29, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 15, 2018
- Discretionary RAUM · $470M to $427MMar 29, 2017 to Mar 15, 2018
- RAUM · $470M to $427MMar 29, 2017 to Mar 15, 2018
- Accounts · 9 to 5Mar 21, 2016 to Mar 7, 2017
- Discretionary RAUM · $514M to $470MMar 21, 2016 to Mar 7, 2017
- RAUM · $514M to $470MMar 21, 2016 to Mar 7, 2017
- Accounts · 5 to 9Mar 30, 2015 to Mar 21, 2016
Signals
12 dated events
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $1.1B, down 48% from $2.0B (2025-01-31 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $2.0B, down 34% from $3.1B (2024-03-26 to 2025-01-31)Jan 31, 2025 · RAUM change · derived
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $3.1B, up 213% from $988.0M (2023-11-29 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of V••••• A••••••••• I••••••••• A•••••••• L••Nov 29, 2023 · Control person joined · fact
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $866.1M, up 152% from $343.9M (2022-03-24 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- John Kevin Carr (Senior Vice President And Assistant Secretary) no longer on Schedule A of V••••• A••••••••• I••••••••• A•••••••• L•• (listed 2022-03-24, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- George Francis Waltman (Director And Executive Vice President) no longer on Schedule A of V••••• A••••••••• I••••••••• A•••••••• L•• (listed 2021-03-04, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- William Richard Smirl (Executive Vice President And Chief Operating Officer) appeared on Schedule A of V••••• A••••••••• I••••••••• A•••••••• L••Mar 24, 2022 · Control person joined · fact
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $406.7M, up 152% from $161.2M (2020-02-27 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $161.2M, down 38% from $262.0M (2019-10-15 to 2020-02-27)Feb 27, 2020 · RAUM change · derived
- Stephen Mark Flynn (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of V••••• A••••••••• I••••••••• A•••••••• L•• (listed 2019-03-11, absent 2019-10-15)Oct 15, 2019 · Control person left · inference
- V••••• A••••••••• I••••••••• A•••••••• L•• reported RAUM $262.0M, down 39% from $427.0M (2019-01-09 to 2019-03-11)Mar 11, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/V•••••-SYSTEMATICreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/V•••••-ETF-SOLUTIONSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- V•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-248-7971reportedpublic record, Form ADV, Jun 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026